JOHN MICHAEL KASTELIC, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043698901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John M. Kastelic, Jr. ("Kastelic"), Respondent CRD No. 5836566 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted
Reference 2014043698901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5836566 |
Other names1
Also known as1
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